DFX Intelligence
RIA Intelligence
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SEC-registered adviser
A•• I••••••••• M••••••••• G••••
Legal name A•• A•••••••
Latest filing Mar 4, 2026
First filing on the tape Mar 5, 2020 · 12 filings
SEC status approved since Apr 3, 2020
RAUM
$197M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$197M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$98.6M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$197M as of Mar 4, 2026
Feb 8, 2021$129M then
HNW client RAUM$113M as of Mar 4, 2026
Feb 8, 2021$77.9M then
State-registered IARs (5.B.3)2 as of Mar 4, 2026
Feb 8, 20212 then
Employees (5.A)2 as of Mar 4, 2026
Feb 8, 20212 then
Private funds: no history
RAUM +15% over the last fiscal year+16% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 4, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $98.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 279derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $243,514derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.3%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Wrap fee program
- $394MreportedItem 5.I
- Custody
- $48.4M, 103 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$113M57%
- Individuals$84.0M43%
- Individual clients
- 503reported
- HNW clients
- 54reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 810reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $197M sponsored, $197M managedreported
- Custody of client assets
- $48.4M for 103 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••• F•••••••• S••••••••• | Jackson, Ca | May 3, 2010 | 20 y | 1 |
| K•••• Z•••••• K•••• | Jackson, Ca | May 3, 2010 | 23 y | 1 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- K•••• Z•••••• K•••• from L•• F•••••••• L••May 3, 2010 · Other
- R••• F•••••••• S••••••••• from L•• F•••••••• L••May 3, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K••••• K••••• Z•••••• · President And Chief Compliance Officercontrolsince 04/2010 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Folsom, Ca | 2 | 0 | 0 | ||
| Jackson, Ca · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Folsom, CA1 employees
What changed
consecutive filings, newest first
- Accounts · 803 to 810Feb 28, 2025 to Mar 4, 2026
- HNW clients · 48 to 54Feb 28, 2025 to Mar 4, 2026
- Individual clients · 502 to 503Feb 28, 2025 to Mar 4, 2026
- Assets in custody · $35.6M to $48.4MFeb 28, 2025 to Mar 4, 2026
- Discretionary RAUM · $172M to $197MFeb 28, 2025 to Mar 4, 2026
- HNW RAUM · $78.6M to $113MFeb 28, 2025 to Mar 4, 2026
- Individual RAUM · $92.9M to $84.0MFeb 28, 2025 to Mar 4, 2026
- RAUM · $172M to $197MFeb 28, 2025 to Mar 4, 2026
- Wrap assets (manager) · $172M to $197MFeb 28, 2025 to Mar 4, 2026
- Wrap assets (sponsor) · $172M to $197MFeb 28, 2025 to Mar 4, 2026
- Accounts · 784 to 803Feb 2, 2024 to Feb 28, 2025
- HNW clients · 59 to 48Feb 2, 2024 to Feb 28, 2025
- Individual clients · 480 to 502Feb 2, 2024 to Feb 28, 2025
- Assets in custody · $30.9M to $35.6MFeb 2, 2024 to Feb 28, 2025
- Financial planning clients · 0 to 0Feb 2, 2024 to Feb 28, 2025
- Discretionary RAUM · $153M to $172MFeb 2, 2024 to Feb 28, 2025
- HNW RAUM · $79.2M to $78.6MFeb 2, 2024 to Feb 28, 2025
- Individual RAUM · $74.0M to $92.9MFeb 2, 2024 to Feb 28, 2025
- RAUM · $153M to $172MFeb 2, 2024 to Feb 28, 2025
- Wrap assets (manager) · $153M to $172MFeb 2, 2024 to Feb 28, 2025
- Wrap assets (sponsor) · $153M to $172MFeb 2, 2024 to Feb 28, 2025
- Accounts · 761 to 784May 11, 2023 to Feb 2, 2024
- HNW clients · 38 to 59May 11, 2023 to Feb 2, 2024
- Individual clients · 267 to 480May 11, 2023 to Feb 2, 2024
- Assets in custody · $48.6M to $30.9MMay 11, 2023 to Feb 2, 2024
- Discretionary RAUM · $126M to $153MMay 11, 2023 to Feb 2, 2024
- HNW RAUM · $62.0M to $79.2MMay 11, 2023 to Feb 2, 2024
- Individual RAUM · $64.1M to $74.0MMay 11, 2023 to Feb 2, 2024
- RAUM · $126M to $153MMay 11, 2023 to Feb 2, 2024
- Wrap assets (manager) · $126M to $153MMay 11, 2023 to Feb 2, 2024
- Wrap assets (sponsor) · $126M to $153MMay 11, 2023 to Feb 2, 2024
- Accounts · 719 to 761Feb 17, 2022 to Mar 6, 2023
- Advisory activities · 3 to 4Feb 17, 2022 to Mar 6, 2023
- HNW clients · 42 to 38Feb 17, 2022 to Mar 6, 2023
- Individual clients · 258 to 267Feb 17, 2022 to Mar 6, 2023
- Assets in custody · $34.2M to $48.6MFeb 17, 2022 to Mar 6, 2023
- Financial planning clients · unset to 0Feb 17, 2022 to Mar 6, 2023
- Discretionary RAUM · $150M to $126MFeb 17, 2022 to Mar 6, 2023
- HNW RAUM · $76.0M to $62.0MFeb 17, 2022 to Mar 6, 2023
- Individual RAUM · $73.8M to $64.1MFeb 17, 2022 to Mar 6, 2023
Signals
1 dated events
- A•• A••••••••• filed its initial SEC registration (Form ADV)Mar 5, 2020 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 209-223-1829reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 209-223-0460reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- w••.a•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- (209) 223-0460reportedpublic record, Form ADV, Mar 4, 2026
- Team page
- a•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $98.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026